RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
D••••• M•••• L•••••
- A•••• W••••• A•••••••• L•• BD affiliated currentsince Jul 19, 2022 · Melville, Ny
- B• R•••• W••••• A•••••••• I••• BD affiliatedFeb 21, 2017 to Jul 21, 2022 · Melville, Ny
- O••••••••• • C•• I••• BD affiliatedNov 15, 2007 to Feb 1, 2017 · Hauppauge, Ny
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedFeb 6, 2006 to Oct 4, 2007 · Port Jefferson, Ny
- B• R•••• W••••• A•••••••• I••• to A•••• W••••• A•••••••• L••left Jul 21, 2022, registered Jul 19, 2022 (-2 days) · corporate re-registration, not a move
- O••••••••• • C•• I••• to B• R•••• W••••• A•••••••• I•••left Feb 1, 2017, registered Feb 21, 2017 (20 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to O••••••••• • C•• I•••left Oct 4, 2007, registered Nov 15, 2007 (42 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address